Notice to Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers and Other Requirements Effective February 6, 2006
Starting February 6, filers who filed their latest registration statements or amendments on Form N-1A, N-3, N-4, or N-6 (S/C Funds) must include their series and classes (contracts) identifiers in those EDGAR submissions identified in the EDGAR Filer Manual. These submissions must include all series and/or class (or contract) identifiers of each series and/or class (or contract) on behalf of which the filing is made. See Rule 313 of Regulation S-T [17 CFR 232.313].
As required by Rule 313, on and after February 6, 2006:
S/C Funds are required by Rule 313 of Regulation S-T to keep current their information concerning their existing and new series and/or classes (or contracts, in the case of separate accounts), including series and/or class (contract) name and ticker symbol, if any, and be issued series and/or class (or contract) identification numbers.
If a class (or contract) has a ticker symbol, the company must enter it when obtaining identifiers; if a class (or contract) later obtains a ticker symbol, the company must update the information for the class (or contract) to add the ticker symbol.
S/C Funds are also required by Rule 313 to deactivate for EDGAR purposes any series and/or class (or contract, in the case of separate accounts) that are no longer offered, go out of existence, or deregister following the last filing for that series and/or class (or contract, in the case of separate accounts), but the registrant must not deactivate the last remaining series unless the registrant deregisters.
For further information, please read "Rulemaking for EDGAR System" Release 33-8590 (July 18, 2005); footnote 32 of the release identifies the EDGAR submission types that will be subject to series and class (contract) identification. See also Section 5.4.1 of the EDGAR Filer Manual Version 1 (Volume I - General Information). If you still have questions, please call IM EDGAR Inquiry Line at 202-551-6989.
You must make sure your registrant has only one CIK. Those 1940 Act registrants for whom the Commission is requiring identifiers for their series and classes (or contracts, in the case of separate accounts) (i.e., Form N-1A, N-3, N-4 and N-6 registrants) must submit their 1940 Act filings under only one 1940 Act number (811-) and one CIK. (Registrants may have multiple 1933 Act numbers under a single CIK.)